The Role
Structure, price, execute, and manage listed equity derivative strategies for institutional clients. Provide trade ideas, hedging strategies, and market insight across volatility, correlation, and equity derivatives. Develop institutional relationships, collaborate with sales and research teams, market derivative products, and ensure transactions comply with regulatory, risk, and suitability requirements.
Summary Generated by Built In
Roth Capital Partners, LLC is a relationship-driven investment bank focused on serving growth companies and their investors. In addition to capital markets and M&A advisory services, our full-service platform provides a variety of capital markets solutions, including high impact equity research, macroeconomic perspectives, institutional sales and trading, technical insights, derivatives strategies and corporate access. Headquartered in Newport Beach, California, Roth is a privately held, employee-owned organization and maintains offices throughout the U.S.
Roth is looking to add a flow Derivatives Sales Trader to our team, responsible for structuring and pricing, and executing listed US options strategies for institutional clients. This role combines client-facing sales responsibility with trading and risk expertise, requiring close collaboration with the derivatives trading desk and institutional sales coverage. The successful candidate will bring strong quantitative fluency alongside the relationship and communication skills needed to advise sophisticated institutional counterparties. This position may be based out of any of our U.S. Offices.
Responsibilities include (but are not limited to):
Roth is looking to add a flow Derivatives Sales Trader to our team, responsible for structuring and pricing, and executing listed US options strategies for institutional clients. This role combines client-facing sales responsibility with trading and risk expertise, requiring close collaboration with the derivatives trading desk and institutional sales coverage. The successful candidate will bring strong quantitative fluency alongside the relationship and communication skills needed to advise sophisticated institutional counterparties. This position may be based out of any of our U.S. Offices.
Responsibilities include (but are not limited to):
- Structure, price, and manage listed equity derivative trades (single stock, ETF, index options) on behalf of institutional clients.
- Provide clients with trade ideas, hedging strategies, and market color across volatility, correlation, and equity derivative markets.
- Partner with institutional equity sales to identify and develop derivative-related opportunities within existing client relationships.
- Work with institutional equity sales and research analysts to identify catalysts for listed option trade ideas
- Market the firms current “Catalyst Single Stock Product” produced by firms derivative desk strategist
- Maintain deep familiarity with options market structure, volatility surfaces, and derivative pricing models to advise clients effectively.
- Ensure all derivative transactions comply with applicable regulatory requirements (FINRA, SEC, CFTC where applicable) and internal risk and suitability policies.
- Build and maintain relationships with institutional derivative desks, hedge funds, and other sophisticated counterparties.
- Strong quantitative skills with fluency in options pricing, volatility, and risk (Greeks) concepts
- Excellent communication and client-management skills, with the ability to explain complex derivative strategies clearly to sophisticated investors.
- 5-10+ years of derivative sales, sales trading, or trading experience, with a strong foundation in equity derivatives and options.
- Active Series 7 and Series 63 licenses required; Series 57 and/or relevant derivatives licensure (e.g., Series 3) a plus.
- Established relationships with institutional derivative trading desks and hedge funds.
- Bachelor's degree required
- Clean U.S. regulatory record (FINRA BrokerCheck).
Skills Required
- 5-10+ years of derivatives sales, sales trading, or trading experience
- Strong foundation in equity derivatives and options
- Active Series 7 license
- Active Series 63 license
- Established relationships with institutional derivative trading desks and hedge funds
- Bachelor's degree
- Clean U.S. regulatory record through FINRA BrokerCheck
- Series 57 license or relevant derivatives licensure, such as Series 3
- Strong quantitative skills, including options pricing, volatility, and Greeks
- Excellent communication and client-management skills
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The Company
What We Do
Roth Capital Partners, LLC is a relationship-driven, full-service investment bank that provides strategic and financial advisory services to growth companies and their investors.
